Filing Details

Accession Number:
0001181431-13-060010
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-20 19:18:13
Reporting Period:
2013-11-20
Filing Date:
2013-11-20
Accepted Time:
2013-11-20 19:18:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1416792 Relypsa Inc RLYP Pharmaceutical Preparations (2834) 260893742
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1219014 M Scott Rocklage C/O 5Am Ventures
2200 Sand Hill Road, Suite 110
Menlo Park CA 94025
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-20 7,340 $0.00 39,149 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 11,395 $0.17 50,544 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 179 $11.00 50,365 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 2,629 $0.17 52,994 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 42 $11.00 52,952 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 9,364 $11.00 62,316 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 P Indirect See Footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 676 $0.00 676 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 676 $0.00 676 $0.17
Series C-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 442,160 $0.00 442,160 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 442,160 $0.00 442,160 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 442,160 $0.00 442,160 $0.17
Series C-2 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 102,036 $0.00 102,036 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 102,036 $0.00 102,036 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 102,036 $0.00 102,036 $0.17
Series C-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 11,395 $0.00 11,395 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 11,395 $0.00 11,395 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 11,395 $0.00 11,395 $0.17
Series C-2 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 2,629 $0.00 2,629 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 2,629 $0.00 2,629 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 2,629 $0.00 2,629 $0.17
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
676 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
442,160 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
102,036 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
11,395 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
2,629 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
Footnotes
  1. Reflects a 1-for-17.2 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
  2. 5AM Partners II, LLC is the general partner of 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Scott M. Rocklage, a member of the Issuer's board of directors, is a managing member of 5AM Partners II, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Dr. Rocklage disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
  3. Each share of Series C-2 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
  4. Shares disposed of in connection with net share settlement of outstanding warrants, which resulted in the cancellation of underlying shares to the Issuer, and which did not involve any sale of shares.
  5. Shares directly beneficially owned by 5AM Co-Investors II, L.P.
  6. Shares directly beneficially owned by 5AM Ventures III, L.P.
  7. Shares directly beneficially owned by 5AM Co-Investors III, L.P.
  8. 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Scott M. Rocklage, a member of the Issuer's board of directors, is a managing member of 5AM Partners III, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Rocklage disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
  9. This warrant is immediately exercisable.
  10. Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-1 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.
  11. Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-2 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.